DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Windward Wealth Strategies, Inc.
Latest filing Mar 6, 2026
First filing on the tape Feb 19, 2015 · 30 filings
SEC status approved since Feb 27, 2015
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$251M as of Mar 6, 2026
Feb 18, 2016$168M then
HNW client RAUM$113M as of Mar 6, 2026
Feb 5, 2018$123M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Feb 18, 20163 then
Employees (5.A)3 as of Mar 6, 2026
Feb 18, 20164 then
Private funds: no history
RAUM +24% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 197derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $632,837derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +386%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$113M45%
- Individuals$89.1M35%
- Pension and profit-sharing plans$48.9M19%
- Individual clients
- 294reported
- HNW clients
- 100reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 397reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gregory Bryan Pierce | Oshkosh, Wi | Dec 4, 2024 | 33 y | 3 |
| Kim M Molitor | Oshkosh, Wi | Dec 13, 2024 | 12 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Debra Lynn Allison-Aasby to Carl M. Hennig, Inc.Aug 29, 2018 · RIA to a state-registered adviser
Joined, latest
- Debra Lynn Allison-Aasby from Edward JonesApr 17, 2017 · Other
- Gregory Bryan Pierce from Reinhart Partners, LLCMar 16, 2015 · Other
- Kim M Molitor from Reinhart Partners, LLCMar 16, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Reinhart Partners, LLCApr 1, 2015 · Mequon, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M Kim Molitor · Secretarycontrolsince 04/2015 · owns 25% to 50%
- Bryan Gregory Pierce · President & Ciocontrolsince 04/2015 · owns 50% to 75%
- Ann Cassandra Knight · Chief Compliance Officersince 04/2015 · owns 5% to 10%
Related persons
Schedule D 7.A
- Fox Valley Pro Basketball, Inc.pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oshkosh, Wi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 6, 2026discretionary share of RAUM moved from 80.0% to 100.0% between the annual amendments of 2025-03-20 and 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 6, 2026HNW share of RAUM moved from 68.0% to 45.0% between the annual amendments of 2025-03-20 and 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 379 to 397Mar 20, 2025 to Mar 6, 2026
- HNW clients · 37 to 100Mar 20, 2025 to Mar 6, 2026
- Individual clients · 44 to 294Mar 20, 2025 to Mar 6, 2026
- Financial planning clients · 26-50 to 11-25Mar 20, 2025 to Mar 6, 2026
- Discretionary RAUM · $163M to $251MMar 20, 2025 to Mar 6, 2026
- HNW RAUM · $137M to $113MMar 20, 2025 to Mar 6, 2026
- Individual RAUM · $25.2M to $89.1MMar 20, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $39.5M to $0Mar 20, 2025 to Mar 6, 2026
- Pension RAUM · $39.5M to $48.9MMar 20, 2025 to Mar 6, 2026
- RAUM · $202M to $251MMar 20, 2025 to Mar 6, 2026
- Accounts · 386 to 379Mar 6, 2024 to Mar 20, 2025
- HNW clients · 42 to 37Mar 6, 2024 to Mar 20, 2025
- Individual clients · 45 to 44Mar 6, 2024 to Mar 20, 2025
- Pension plan clients · 0 to 3Mar 6, 2024 to Mar 20, 2025
- Financial planning clients · 11-25 to 26-50Mar 6, 2024 to Mar 20, 2025
- Discretionary RAUM · $184M to $163MMar 6, 2024 to Mar 20, 2025
- HNW RAUM · $163M to $137MMar 6, 2024 to Mar 20, 2025
- Individual RAUM · $21.3M to $25.2MMar 6, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $0 to $39.5MMar 6, 2024 to Mar 20, 2025
- Pension RAUM · $0 to $39.5MMar 6, 2024 to Mar 20, 2025
- RAUM · $184M to $202MMar 6, 2024 to Mar 20, 2025
- Accounts · 383 to 386Mar 15, 2023 to Mar 6, 2024
- HNW clients · 41 to 42Mar 15, 2023 to Mar 6, 2024
- Individual clients · 49 to 45Mar 15, 2023 to Mar 6, 2024
- Discretionary RAUM · $166M to $184MMar 15, 2023 to Mar 6, 2024
- HNW RAUM · $146M to $163MMar 15, 2023 to Mar 6, 2024
- Individual RAUM · $20.7M to $21.3MMar 15, 2023 to Mar 6, 2024
- RAUM · $166M to $184MMar 15, 2023 to Mar 6, 2024
- Accounts · 386 to 383May 2, 2022 to Mar 15, 2023
- HNW clients · 22 to 41May 2, 2022 to Mar 15, 2023
- Individual clients · 76 to 49May 2, 2022 to Mar 15, 2023
- Discretionary RAUM · $169M to $166MMay 2, 2022 to Mar 15, 2023
- HNW RAUM · $120M to $146MMay 2, 2022 to Mar 15, 2023
- Individual RAUM · $48.3M to $20.7MMay 2, 2022 to Mar 15, 2023
- RAUM · $169M to $166MMay 2, 2022 to Mar 15, 2023
- Advisory employees · 3 to 2Mar 10, 2022 to May 2, 2022
- Employees · 4 to 3Mar 10, 2022 to May 2, 2022
- State-registered IARs · 3 to 2Mar 10, 2022 to May 2, 2022
- Accounts · 86 to 386Sep 30, 2021 to Mar 10, 2022
- HNW clients · 59 to 22Sep 30, 2021 to Mar 10, 2022
Signals
1 dated events
- Windward Wealth Strategies, Inc. filed its initial SEC registration (Form ADV)Feb 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 844-257-8715reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 920-230-2215reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 920-230-6851reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/15255244reportedpublic record, Form ADV, Sep 18, 2026
- Website
- windwardwealthstrategies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-230-2215reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- windwardwealthstrategies.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- windwardwealthstrategies.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026